Frank Herring

Senior Consultant
Norton Rose Fulbright LLP

Frankfurt
Germany
T:+49 (69) 505096299
Frankfurt
Germany
T:+49 (69) 505096299
Frank Herring

Frank Herring

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Biography

Dr. Frank Herring is a financial services and regulation lawyer based in Frankfurt. He focuses on advising on the regulation of financial services providers and investment funds, advising both asset managers and investors.

Frank supports our clients in all regulatory issues, in particular under the German Capital Investment Code (Kapitalanlagegesetzbuch, KAGB), the German Banking Act (Kreditwesengesetz, KWG), the German Insurance Supervision Act (Versicherungsaufsichtsgesetz, VAG) and the German Securities Trading Act (Wertpapierhandelsgesetz, WpHG). In addition to his ongoing advisory work, he has also acted as lead partner in numerous outsourcing and M&A transactions in the financial services sector.

His significant experience includes, inter alia, advising a large number of German and foreign banks and investment managers on the establishment, management and restructuring of open and closed-end investment funds.

Frank has been a lecturer at the Institute for Law and Finance at Frankfurt Johann Wolfgang Goethe University since 2015.

 

Professional experience

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  • Rechtsanwalt
  • Mysteries of the Real Estate Quota - Orientation Points for Asset Managers (Mysterien der Immobilienquote - Orientierungspunkte fur Asset Manager), RdF 2022, p. 172
  • Excuse Rights in Alternative Investment Vehicles (Excuse Rights bei Anlagen in Alternative Investmentvermögen), Absolute Private, QI 2023 (together with Stephan Funck)
  • Statutory revision of the cancellation policy for financial services in relation to investment funds (Gesetzliche Neuregelung der Widerrufsbelehrung bei Finanzdienstleistungen in Bezug auf Investmentfonds), RdF 2021, 260 (together with Valeska Karcher)
  • Act to strengthen Germany as a fund location (Gesetz zur Stärkung des Fondsstandortes Deutschland), Absolut Report 1/2021, (together with Lennart Dahmen)
  • AIFMD Review: Milestones on the way to AIFMDII (AIFMD Review: Meilensteine auf dem Weg zur AIFMDII) - RdF 2021, 4 (together with Lennart Dahmen)
  • The Transfer of Tasks by Capital Management Companies under the KAGB - Permissibility, Limits and Liability (Die Ubertragung von Aufgaben durch Kapitalverwaltungsgesellschaften unter dem KAGB - Zulässigkeit, Grenzen und Haftung), Dissertation 2020
  • Chapter on depositary in Baur/Tappen/Merkkahr/Behme (editors), Investmentgesetze (Kapitel zu Verwahrstelle in Baur/Tappen/Merkkahr/Behme (editors), Investmentgesetze), 4th ed. 2019
  • Chapter on Hedge Funds in Moritz/Helios/Jesch (editors), (Kapitel zu Hedge Funds in Moritz/Helios/Jesch (editors)), Frankfurter Kommentar - Recht der Assetklassen, 2019 (together with Dennis Kunschke)
  • Licensing and Robo-Advice, in: Kunschke/Schaffelhuber (editors)  Fundamentals - Regulation - Financing - Case Studies 2018 (Lizenzleihe und Robo-Advice, in: Kunschke/Schaffelhuber (editors) FinTech - Grundlagen - Regulierung - Finanzierung - Case Studies 2018)
  • Use of Third-Party Distributors by Capital Management Companies - a Case of Outsourcing under Section 36 KAGB? (Einsatz von Drittvertrieben durch Kapitalverwaltungsgesellschaften - ein Fall der Auslagerung nach § 36 KAGB?), WM 2016, 298 (together with Dennis Kunschke)
  • Management of Alternative Investment Funds under the KAGB-E - Determination of the AIF Capital Management Company, Master AIF KVG Structures, Type Constraint and their Impact on Management (Die Verwaltung alternativer Investmentvermögen nach dem KAGB-E – Bestimmung der AIF- Kapitalverwaltungsgesellschaft, Master-AIF-KVG-Strukturen, Typenzwang und deren Auswirkungen auf die Verwaltung), Der Betrieb 2012, 2029 (together with Detmar Loff)
  • § SECTION 240 KAGB: Legal problem areas when granting loans to real estate companies (§ 240 KAGB: Rechtliche Problemfelder bei der Darlehensgewährung an Immobilien-Gesellschaften), RdF 2017, 22-30), (together with Dennis Kunschke)
  • Asset Investments of Insurers in Special Real Estate Funds (Vermögensanlagen von Versicherern in Spezial-Immobilienfonds), Absolut Report 5/2016 (together with Martin Krause)
  • The Special Representative in Banking Supervision - New Regulations under the Restructuring Act (Der Sonderbeauftragte in der Bankenaufsicht – Neuregelung durch das Restrukturierungsgesetz), WM 2011, 1311 (together with Bernhard Fiedler)
  • Impact of the AIFM Directive on Institutional Investors (Auswirkungen der AIFM-Richtlinie auf institutionelle Investoren), Absolut Report 2/2010, 54 et seqq. (together with Martin Krause)
  • The Implementation of the Financial Collateral Directive and its Consequences for Investment Companies, German Single Hedge Funds and Prime Brokers (Die Umsetzung der Finanzsicherheiten-Richtlinie und ihre Folgen für Kapitalanlagegesellschaften, deutsche Single-Hedgefonds und Prime Broker), ZIP 2004, 1627 (together with Sever Cristea)
  • Legal Limits of Outsourcing - the Latest Draft of the BAKred Circular (Rechtliche Grenzen des Outsourcing – der neueste Entwurf des BAKred Rundschreibens), ZFGK 2000, page 23 (together with Andreas Steck)
  • Lecturer at the Institute for Law and Finance at Frankfurt Johann Wolfgang Goethe University since 2015
  • German
  • English

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